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LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2006-01-13 |
Branch Locations
200 Lowder Brook Dr Ste 2100, Westwood, MA 02090 • United States
Sandwich, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Sandwich | MA | 05/2004 | Present |
1. INVOLVEMENT AS AN INDEPENDENT INSURANCE AGENT SELLING FIXED LIFE, GROUP & INDIVIDUAL HEALTH, DISABILITY, LONG TERM CARE, AND FIXED ANNUITIES / SANDWICH, MA / APPROVED JUNE 17, 2004 2. 06/10/2008 - BAY FINANCIAL ASSOCIATES, LLC./DBA ONLY/WALTHAM, MA 02454 3. 10/01/2010 - OTHER-BASKETBALL OFFICIAL,FRANK DELEO, ASSOCIATION OF APPROVED BASKETBALL OFFICIALS.....REFEREE LOCAL BASKETBALL, 5%.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1982-05-20 |
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